Provide support to the compliance team, assisting in the implementation of the firm’s compliance policies, undertaking specified checks and controls to ensure that all departments are in compliance. Providing administrative support to manage the Compliance calendar.
- Assist in the implementation of the firms’ compliance strategy and in-house controls to ensure continued good standing with the regulators (FCA & SEC).
- Monitor breaches and manage the resolution of potential and actual events to achieve optimum outcome for the business and clients.
- Provide guidance on FCA reviews and notifications to relevant teams, advise procedural amendments where applicable and identify actions from regulatory or auditor visits
- Monitor outside developments in the wider financial services sector to keep knowledge base up to date, awareness of relevant issues and Regulatory hot topics to contribute to the management of the business.
- Review and sign off of marketing documentation, newsletters and advertising.
- Assist in the provision of training for teams including induction, ongoing and ad hoc training requirements including the use of third party providers and trainers to satisfy the regulatory responsibilities for relevant staff members.
- Involvement in the FCA regulatory reporting requirements for the relevant firms.
- Managing the relevant compliance calendars monthly tasks
Skills & Experience
- Good understanding of FCA regulators and other relevant pieces of legislation.
- Knowledge of SEC rules would be advantageous.
- 2-3 years’ experience in relevant compliance function.
- Highly organized
- Experience in Wealth Manager/Financial Advisor firm